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Posted: Thursday, September 7, 2017 2:02 PM

Job Description:/h3:
Job title: Compliance Manager
Location: Rochester
Division/Department: Compliance
Reports to: Chief Compliance Officer
Compensation and Benefits: Base salary with bonus eligibility. 401k with match, Vacation, Health Insurance with firm contribution, Profit Sharing.

Job Summary
Compliance manager of a Broker Dealer and RIA. Responsible for ensuring that all business and persons conducting that business are compliant with all FINRA and SEC regulations and laws. Must have the ability to deliver independent thought and actions while assisting with risk management. Manages BSCs compliance program, functioning as an objective body that reviews and evaluates compliance issues/concerns within the firm. This position ensures that the firm and its employees are in compliance with the rules and regulations of FINRA and other regulatory agencies, that company policies and procedures are being followed. The Compliance Manager also functions as a channel of communication to receive and direct compliance issues to appropriate resources for investigation and resolution. The Compliance Manager monitors and reports results of the compliance/ethics efforts of the company and provides guidance to the management team on matters relating to compliance.

Job Functions
:Supervising Principal for: advertising, business continuity plan, client complaints, continuing education, corporate debt, external firm correspondence, equities, financial reporting, high yield investments, RIA, licensing and registration, mutual funds, non:conventional investments, OATS, online transactions, options, ROP, penny stocks.
:Maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day:to:day operation of the Program.
:Collaborates with the Chief Compliance Officer to direct compliance issues to appropriate existing channels for investigation and resolution. May consult with the firms attorneys as needed to resolve difficult legal compliance issues.
:Responds to alleged violations of rules, regulations, policies and procedures by evaluating or recommending the initiation of investigative procedures. Manages a system for uniform handling of such violations.
:Identifies potential areas of compliance vulnerability and risk; manages corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
:Provides reports on a regular basis, and as directed or requested, to keep the Chief Compliance Officer and management team informed of the operation and progress of compliance efforts.
:Assists with proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
:Works with other departments as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
:Monitors the performance of the Compliance Program and relates activities on a continuing basis, taking appropriate steps to suggest improvements in its effectiveness.
:Continuous review of correspondence, marketing materials and filing of advertising in accordance with regulatory guidelines. Review and respond to customer complaints, subpoenas, etc.
:Due:diligence review and recommendation regarding new product offering requests.
:Assists with self:regulatory organization (SRO) examinations of the firm. Conduct branch examinations and internal audit reviews.
:Review and suggest revisions to the Written Supervisory Procedures Manual (WSPM) and suggest changes.
:Responsible for AML, CIP, FinCen and customer complaint (3070) filings.
:Other projects and responsibilities may be added at the firms discretion.

Job Requirements and Qualifications
Education: Bach

Source: https://www.tiptopjob.com/jobs/71808883_job.asp?source=backpage


• Location: Rochester

• Post ID: 30890042 rochester
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